DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

K•••• C••••••••• G••••••

L•••• F••• A••••••• S•••••••BD affiliatedOrmond Beach, Fldual registrantIAPD 2391503

Feed of 09/14/2026

At current firm

3 y

since Nov 14, 2022

In the industry

32 y

since Nov 17, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•••• F••• A••••••• S••••••• BD affiliated current
since Nov 14, 2022 · Ormond Beach, Fl
C••••••• • C••• I••• former
Jun 16, 2005 to Oct 20, 2022 · Ormond Beach, Fl
G•••••••• F••••••••• I•• unclassified
Jun 6, 2003 to Jun 17, 2005 · Daytona Beach, Fl
R•••••• J•••• F•••••••• S•••••••• I••• unclassified
Mar 14, 2003 to Jun 10, 2003 · Ormond Beach, Fl
U•• F•••••••• S••••••• I••• wirehouse
Sep 22, 2000 to Dec 20, 2002 · Daytona Beach, Fl

Moves

a registration end followed by a registration begin elsewhere

C••••••• • C••• I••• to L•••• F••• A••••••• S•••••••
left Oct 20, 2022, registered Nov 14, 2022 (25 days) · Affiliated broker-dealer or bank to another
G•••••••• F••••••••• I•• to C••••••• • C••• I•••
left Jun 17, 2005, registered Jun 16, 2005 (-1 days) · Other
R•••••• J•••• F•••••••• S•••••••• I••• to G•••••••• F••••••••• I••
left Jun 10, 2003, registered Jun 6, 2003 (-4 days) · Other
U•• F•••••••• S••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••
left Dec 20, 2002, registered Mar 14, 2003 (84 days) · Other

Signals

K•••• C••••••••• G•••••• left C••••••• • C••• I••• for L•••• F••• A••••••• S••••••• (registered 2022-11-14)
Oct 20, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address